A compliance specialist expects the SEC and Finra to consider whether very targeted relief or an extension is appropriate.
March 24, 2020
Sen. Kelly Loeffler, R-Ga. and Sen. James Inhofe, R-Okla. say their financial advisors sold their holdings for them, without their involvement.
The two firms will also pay the full weekly salaries of employees whose branches have shortened work hours.
The bank paid David Solomon $24.7 million in 2019.
But the company slashed recruitment chief Rich Steinmeier’s total compensation by 27%.
The regulator has also issued a no-action letter on the consolidated audit trail compliance rules.
Around 44% worry about paying rent or their mortgage.
More than half of participants in their 50s don’t have access to an official source of retirement advice.
Nearly 30 certified financial planners have signed up to offer pro bono services through the Financial Planning Association’s website.